Sarah Herbin Email & Phone Number

Milford, Connecticut

• Liaison as point of contact between financial sales manager and preferred Enterprise customers. • Responsible for managing customer service related matters, and assisting senior managers in enhancing client relationships. • Involved with various levels of review of customer billing practices. • Assist in developing and implementing internal business processes. • Collaborate with other internal departments.

Greater New York City Area

• Serves as member of in-house counsel for mutual fund complex, registered investment adviser and affiliated broker-dealer. • Assisted general counsel in all aspects of corporate, mutual fund and private/institutional advisory business.• Advised senior management on mutual fund matters.• Managed outside fund counsel and outside counsel to investment adviser on mutual fund matters. • Drafted and filed fund registration statements and various other SEC filings. • Drafted and filed proxy materials and materials relating to fund shareholder meetings. • Drafted and filed fund disclosure documents and other required regulatory filings. • Prepared materials for and draft minutes of quarterly board meetings.• Provided ongoing legal support and guidance to all areas of business.• Collaborated with compliance department on fund regulatory and operational matters. • Drafted and reviewed corporate organizational and governance documents, board materials and minutes.• Developed policies and procedures for registered funds, adviser, broker-dealer and private/institutional advisory business.• Assisted general counsel in management and training of new members of the department. • Drafted and negotiated investment advisory and/or service agreements with mutual funds, sub-advised funds, fund service providers and separate account clients.• Negotiated fund-related agreements with affiliates and outside entities. • Routinely provided legal advice regarding mutual fund compliance and regulatory matters. • Served as legal department liaison with various business clients on the mutual fund side of the business, including nine sub-advised fund relationships.• Assisted senior management and outside counsel regarding the acquisition of Third Avenue Management.

Greater New York City Area

• Worked with members of Compliance on various projects, which involve researching potential and existing conflicts of interest between company deals as a result of the merger between J.P. Morgan and Chase Manhattan.

Stamford, Connecticut

• Responsible for the handling of debt transactions including U.S. and European medium-term notes. • Prepared, negotiated and delivered debt offering and closing documentation required in the sale of medium-term notes. • Drafted intercompany agreements and guarantees on behalf of affiliates.

Greater Boston Area

• Drafted and filed registration and proxy statements with the SEC for Fidelity’s retail and institutional mutual funds. • Developed extensive working knowledge of the regulation of investment companies, investment advisers, and related service providers under the federal securities laws, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, and the NASD Rules of Conduct.• Analyzed, researched and resolved all regulatory disclosure issues raised within Fidelity and by the SEC. • Researched and drafted legal memoranda to the funds’ Board of Trustees, including authorization to change a fund’s investment policies and annual approval of management and sub-advisory contracts.• Negotiated issues relating to mutual fund regulations between various departments and the Legal Department.• Collaborated with Compliance, Treasurer’s Department, and funds’ external auditors to ensure compliance issues were identified and addressed appropriately. • Managed the Legal Department’s process for Form N-SAR, as well as conducted training sessions.• Other responsibilities included: reviewing and approving all advertising and shareholder communication materials and fund annual and semi-annual reports, and preparing mutual fund contract renewal materials.

Greater Boston Area

• Routinely provided legal and technical assistance to new clients adopting or replacing a 401(k) plan. • Prepared and negotiated all legal plan contracts and applicable documentation for the client. • Reviewed plan and trust agreements of takeover policy for regulatory and operational compliance. • Acted as a technical resource, as well as managed training sessions, on retirement and pension plan regulations, tax reporting requirements, and fiduciary responsibilities under ERISA and the Internal Revenue Code. • Provided support to senior management in the Compliance Department in addressing legal and compliance issues.• Drafted language of legal amendments and agreements.

Greater Boston Area

• Wrote, developed and produced proposals for institutional prospects and existing clients within the Defined Benefit division of Institutional Management. • Maintained database for domestic, international, and fixed income product areas.

Greater Boston Area

• Supported the Marketing Compliance Officer (during second year of law school) in the legal review and oversight of mutual funds advertising and sales literature for compliance with the SEC and NASD rules and regulations. • Extensive written and oral communication with the NASD. • Researched and developed procedures for compliance with federal securities regulations. • Monitored the flow of communication materials from writers within Marketing Department through the final filing with the NASD. • Maintained compliance database and NASD expense budget.

Connecticut

• Researched and wrote memoranda in support of ongoing or proposed litigation. • Assisted attorneys in all aspects of trial preparation. • Observed hearings, depositions and meetings with clients. • Managed office billing and filing systems. • Filed pleadings in federal court.

Doctor Of Law (J.D.)

Bachelor Of Arts (B.A.), Political Science And Government